Bragança Law LLC is pleased to announce that attorney Lisa Bragança has more than two decades of representing clients in need of a defense against FINRA charges. She has defended individuals and entities in large and small investigations all over the country. Financial Industry Regulatory Authority (FINRA) disciplinary investigations are serious matters that can put an end to the career of a financial professional. Financial advisors involved in a FINRA investigation should contact an experienced FINRA investigations and litigation attorney immediately to obtain the necessary advice and representation.
FINRA is the self-regulating organization that oversees the brokerage industry. Under the oversight of the SEC (Securities and Exchange Commission), FINRA is responsible for arbitration dispute resolutions, examines and registers broker-dealers, and conducts investigations into possible violations of securities laws and FINRA rules.
Attorney Lisa Bragança has the knowledge and experience to respond to the early stages of SEC investigations and may forestall actual charges being leveled against her client. FINRA is authorized to compel testimony and the production of documents from individuals and firms in the securities industry. Receipt of a formal 8210 Letter of inquiry is a serious matter. The recipient should immediately obtain legal advice before making statements that may tend to incriminate even if the subject believes nothing was done wrong. An employee of a firm should not rely on corporate attorneys for representation since the attorneys are tasked with representing the firm first. An individual may be made a scapegoat unless appropriate legal steps are taken.
As an SEC investigations attorney, Lisa has represented investment and financial officers, professionals, directors, and employees of public and private firms, as well as other financial pros involved in Securities and Exchange Commission investigations. She has conducted SEC investigations from the inside, so she understands how they operate.
About the Company:
Bragança Law LLC has inside knowledge and years of experience in the SEC. Now she offers her legal experience to clients involved in FINRA or SEC investigations.